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Christine M. Lombardo

Partner

Christine M. Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulations for hedge funds, private equity firms, family offices, broker-dealers, other professional traders, and high-net-worth individuals. Christine also counsels compliance and business personnel on the structure and operations of hedge funds, private equity funds, and other alternative investment products. Before joining Morgan Lewis, Christine was an associate at a national law firm in New York and worked for the Division of Enforcement at FINRA.

report

2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

report

2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    Education

    • Brooklyn Law School, 2008, J.D.
    • New York University, 2004, B.M., Cum Laude

    Admissions

    • New York

    Awards and Affiliations

    Member, Practice Group of the Year, Asset Management, Law360 (2017)

    Publications

    6/14/2018 - SEC Proposes Interpretation of Standard of Conduct for Investment Advisers

    4/20/2018 - SEC Proposes Standards of Conduct for Broker-Dealers, Investment Advisers

    3/7/2018 - The Review of Securities & Commodities Regulation, RSCR Publications

    3/7/2018 - Recordkeeping: Recent Rule Amendments and Other Developments

    February 2018 - 2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    9/14/2017 - SEC Amendments to Form ADV and Recordkeeping Rules Go into Effect on October 1

    8/15/2017 - SEC Observations from Recent Cybersecurity Examinations Identify Best Practices

    February 2017 - 2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    August 2016 - SEC Proposes Business Continuity and Transition Plan Requirements for Investment Advisers; Staff Issues Guidance for Registered Funds

    March 2016 - 2015 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    7/28/2015 - “Pay to Play” Developments

    5/29/2015 - SEC Proposes Rules to Enhance Information Reported by Investment Advisers

    August 2014 - Regulatory Monitor: SEC Update, The Investment Lawyer

    4/10/2014 - Virtual Asset Management Roundtable Series: SEC Examination Trends for Investment Advisers

    3/7/2014 - Business Continuity and Disaster Recovery, presented at the Investment Adviser Association Compliance Conference, Arlington, Virginia

    2/19/2014 - Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

    February 2014 - Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

    12/18/2013 - OCIE Training Session: Social Media for Investment Advisers

    October 2013 - Social Media: The Ongoing Evolution of Internal Controls, The Investment Lawyer, Vol. 20 No. 10

    3/8/2013 - Code of Ethics and Personal Trading, presented at the Investment Adviser Association Compliance Conference Arlington, Virginia

    2010 - Co-Author, SEC Adopts Amendments to Regulation SHO, Journal of Investment Compliance

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    News

    6/23/2017 - Morgan Lewis Elects 31 New Partners

    2/28/2017 - Morgan Lewis Issues 11th Annual Report on SEC, FINRA Enforcement Developments and Cases

    3/3/2016 - Morgan Lewis Releases 10th Annual Report on SEC, FINRA Enforcement Developments and Cases

    10/31/2014 - Morgan Lewis Advises Energy Investors Funds in Acquisition by Ares Management, L.P.

    Events

    11/14/2018 - 2018 Investment Adviser Perspectives: Digital Advice Roundtable

    10/4/2018 - 2018 Annual Private Fund Investors Roundtable

    6/12/2018 - 2018 Morgan Lewis Advanced Topics in Hedge Fund Practices Conference: Manager and Investor Perspectives

    5/8/2018 - 2018 Morgan Lewis Advanced Topics in Hedge Fund Practices Conference: Manager and Investor Perspectives – Chicago

    3/29/2018 - Morgan Lewis Hedge Fund University™ SEC Enforcement Trends for Private Fund Managers

    3/13/2018 - 2018 SEC and FINRA Enforcement and Examination Trends Road Show – Philadelphia

    2/27/2018 - 2018 Investment Adviser Perspectives: Getting Ready for the New Form ADV

    12/14/2017 - Recordkeeping – FIA Law and Compliance Division Webinar

    11/9/2017 - 2017 Investment Adviser Perspectives: Digital Advice Roundtable

    10/5/2017 - 2017 Annual Private Fund Investors Roundtable

    9/14/2017 - 2017 Investment Adviser Perspectives: Getting Ready for the New Form ADV

    3/9/2017 - 2017 SEC Examination & Enforcement Trends Road Show – New York

    2/23/2016 - 2016 SEC Examination and Enforcement Trends Roundtable Road Show – New York

    5/20/2015 - Conflicts of Interest: SEC Staff Training

    5/13/2015 - MMI Alternative Investments Forum 2015

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